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COBS 6.1B Retail investment product provider, operator of an electronic system in relation to lending, and platform service provider requirements relating to adviser charging and remuneration

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SYSC 19C.3 Remuneration principles

As Published: 2014

SYSC 19C.3 Remuneration principles

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DTR 4.4 Exemptions

As Published: 2010

DTR 4.4 Exemptions

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LR 2.1 Preliminary

As Published: 2005

LR 2.1 Preliminary

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BIPRU 8.6 Consolidated capital resources

As Published: 2006

BIPRU 8.6 Consolidated capital resources

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REC 2.12 Availability of relevant information and admission of financial instruments to trading (UK RIEs only)

As Published: 2004

REC 2.12 Availability of relevant information and admission of financial instruments to trading (UK RIEs only)

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SUP 13A.5 EEA firms providing cross border services into the United Kingdom

As Published: 2009

SUP 13A.5 EEA firms providing cross border services into the United Kingdom

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Similar To

PERG 7.3 Does the activity require authorisation?

DTR 6.3 Dissemination of information

SUP 12.5 Contracts: required terms

PERG 13.2 General

IPRU-INV 13.15 CALCULATION OF OWN FUNDS TO MEET THE CAPITAL RESOURCES REQUIREMENT FOR A CATEGORY B FIRM

SUP 6.3 Applications for variation of permission and/or imposition, variation or cancellation of requirements

PR 5.3 Certificate of approval

DTR 5.3 Notification of voting rights arising from the holding of certain financial instruments

RCB 3.5 Other notifications

SYSC 3.2 Areas covered by systems and controls

REC 1.1 Application

SUP 12.9 Record keeping

LR 3.3 Shares

COBS 6.1B Retail investment product provider, operator of an electronic system in relation to lending, and platform service provider requirements relating to adviser charging and remuneration